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FINRA Broker Disclosures

Our Staff has compiled our research into a database of FINRA Broker Disclosures. Search or filter the database to find more about a specific broker.

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Displaying 40,691-40,700 out of 40,739 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Gregory John Frentzen1127840109/11/1997Customer DisputeDenied$0.00$0.00See FINRA Report
Jules Frank Delalla2159117209/11/1997Customer DisputeDenied$0.00$0.00See FINRA Report
Steve Tien Cao1450293109/10/1997Customer DisputeDenied$0.00$0.00See FINRA Report
Mary Alice Hansenfaris1076543809/09/1997Customer DisputeDenied$22,250.00$0.00See FINRA Report
Stephen Howard Davis1264575609/08/1997Customer DisputeDenied$0.00$0.00See FINRA Report
Bruce Michael Cohen1201263609/05/1997Customer DisputeDenied$0.00$0.00See FINRA Report
David Roger Gaeckler1059215409/05/1997Customer DisputeDenied$0.00$0.00See FINRA Report
David Roger Gaeckler1059215409/05/1997Customer DisputeDenied$0.00$0.00See FINRA Report
David Roger Gaeckler1059215409/05/1997Customer DisputeDenied$0.00$0.00See FINRA Report
Kim Marie Tricas2176809309/05/1997Customer DisputeDenied$0.00$0.00See FINRA Report

40,739 Results

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